Anthon Horton Shaw

Employer firm

Rice Hall James & Associates LLC CRD 125410

$1.74B regulatory AUM 4 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• OTHER: WRAP

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2010 → Present
  Rice Hall James & Associates, Llc
  San Diego, CA
• 10/2010 → Present
  Foreside Fund Services, Llc
  San Diego, CA
• 07/2010 → Present
  San Diego County Football Official Association
  Escondide, CA

Previous Registrations

• 2009-09-02 → 2010-08-04
  Lpl Financial Llc
  San Diego, CA
• 1997-12-31 → 2009-03-26
  Lpl Financial Llc
  San Diego, CA
  San Diego, CA

Other Businesses

1) RICE HALL JAMES & ASSOCIATES, SAN DIEGO, CA, INVESTMENT RELATED, START DATE 08/2010; Director of Operations, SUPERVISE TEAM THAT HANDLES OPERATIONAL ACTIVITIES; 160 HRS/MTH WITH 100 HRS DURING TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-05-10
• S63 Uniform Securities Agent State Law Examination
  1995-05-12

Other Names

• Tony Shaw